Readiness Liaison Update Erin Jester September 26, 2013

Contents Readiness Metrics –Readiness Metrics Inventory –Edits to Readiness Metrics Parallel Operations Go/No-Go Updates Update on MP Self-Certification 2

Readiness Metrics Updates Readiness Metrics Inventory is posted in the Readiness workstream folderReadiness workstream folder List of metrics, with high level info (e.g. if it is currently tracking, target completion date, etc.) Two tabs: –External FERC Metrics –External Non-metrics reporting 3

Readiness Metrics Updates (Cont.) Clean and redline version of Readiness Metrics is posted in the Readiness workstream folderReadiness workstream folder New Readiness Metrics –OPS-05a, OPS-05b, OPS-05c, OPS-14, OPS-15, OPS-16, OPS-17, OPS-18, STL-07, TCR-06 Edited Readiness Metrics –TRL-01, TRL-03, OPS-06a, OPS-06b, OPS-06c, OPS-12 4

Parallel Ops Go/No-Go Criteria 5 IDCriteriaCriteria Notes PO-01 All known issues/risks that could impact Parallel Operations are published and assessed Will be published in SPP’s Initial Assessment PO-02 Target mass participates in Structured/Unstructured Market Trials Measured by Readiness Metric TRL-01 Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center No change to the following criteria:

Parallel Ops Go/No-Go Criteria 6 IDOriginal CriteriaCriteria Notes PO-03 All in-scope Structured/Unstructured testing scenarios are completed or removed from scope Based on Readiness Metric TRL- 02 Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center Updated Criteria 100% of Structured/Unstructured testing scenarios are successfully executed and completed or removed from scope and successful completion is validated through Readiness Metric TRL-02.

Parallel Ops Go/No-Go Criteria (Cont.) 7 IDCriteriaCriteria Notes PO-04 SPP and member ICCP Models are up to date and the data exchange and values have been validated for all applicable entities and relationships All resource owning MPs need to complete this criterion. This will be based on Readiness Metric OPS-17. PO-05 All MP EMS related changes, including AGC (if applicable), have been completed This is required for IDT. Method for tracking MP completion of this criterion will be via survey. MPs will need to confirm completion of system changes around Oct 21. May be able to validate with a deployment test dry run. Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center No change to the following criteria:

Parallel Ops Go/No-Go Criteria (Cont.) 8 IDCriteriaCriteria Notes PO-06 Successfully execute Integrated Marketplace Bid to Bill functionality consistently for 3 consecutive Operating Days according to protocol timelines SMT Exit Criteria; Bid to Bill internal definition: Market Participant bid submission, Day Ahead Market, Real Time Balancing Market, RUC, EADS, POPS, Settlements Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center SPP Notes SPP has decided to keep this criteria and has added a new criterion (PO-25) to address the MP proposed changes.

Parallel Ops Go/No-Go Criteria (Cont.) 9 IDCriteriaCriteria Notes PO-07 SAT (Site Acceptance Testing) Stage Exit Criteria is met by all applicable workstreams and Business Owner approval is obtained (with the exception of Markets) Applicable workstreams: CMT/MCST, EMS, Load Forecasting, OATI, Portal, RTGEN, Credit, EADS, POPS, Settlements PO-08 SIT (System Integration Testing) Stage Exit Criteria is met by all applicable workstreams and Business Owner approval is obtained Applicable workstreams: CMT/MCST, EMS, Load Forecasting, Markets, OATI, Portal, RTGEN, Accounting, Credit, EADS, POPS, Settlements PO-09 FIT (Functional Integration Testing) Stage Exit Criteria is met by all applicable workstreams and Business Owner approval is obtained (with the exception of Settlements) Applicable workstreams: CMT/MCST, EMS/Load Forecasting, Markets, OATI, RTGEN, Accounting, Credit, POPS Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center No change to the following criteria:

Parallel Ops Go/No-Go Criteria (Cont.) 10 IDCriteriaCriteria Notes PO-10 All ICCP and XML inbound and outbound Marketplace data points have been validated with all applicable Market Participants as part of Structured Market Trials This criterion will demonstrate the additional Markets functionality required to be SAT tested prior to Parallel Operations PO-11 MCE Certification sign-off obtained from Markets Business Owners Based on Protocols v16.0a Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center No change to the following criteria:

Parallel Ops Go/No-Go Criteria (Cont.) 11 IDCriteriaCriteria Notes PO-12 All charge types for target mass have been successfully published and verified through Structured Market Trials and Business Owner approval is obtained as demonstrated through the Settlements tracker This will be demonstrated with minimum defects, and no upstream test data is used to ensure quality. This criterion will demonstrate the additional Settlements functionality required to be FIT tested prior to Parallel Operations. This is based on Readiness Metric STL-07. Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center No change to the following criteria:

Parallel Ops Go/No-Go Criteria (Cont.) 12 IDCriteriaCriteria Notes PO-13 Performance Testing Exit Criteria is met by all applicable workstreams and Business Owner approval is obtained Applicable workstreams: Markets, MCST, Portal, Settlements PO-14 Non Functional Testing should be completed and reviewed by SPP Technical Architects validating the systems demonstrate sufficient stability to commence Parallel Operations Applicable workstreams: CMT, CMS, ICCP, Markets, Portal, Legacy Applications, EMS, EADS, POPS, Settlements Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center No change to the following criteria:

Parallel Ops Go/No-Go Criteria (Cont.) 13 IDCriteriaCriteria Notes PO-15 Systems components that are in scope for the start of Parallel Operations have been installed and integrated in Marketplace Production Great Plains, CMS, CMT, CROW, EADS, RSS, RRS, IDC, OATI/RTOSS, EMS, Portal, DBDA- RUC, RRC, PFC, DA-Market, DA- RUC, ID-RUC, RTBM, Settlements PO-16 All systems supporting Parallel Operations have the latest Commercial/ Network Model CMS, CMT, EADS, RSS, OATI/RTOSS, EMS, Portal, Markets (DBDA-RUC, RRC, PFC, DA-Market, DA-RUC, ID-RUC, RTBM), Settlements Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center No change to the following criteria:

Parallel Ops Go/No-Go Criteria (Cont.) 14 IDCriteriaCriteria Notes PO-17Protocol Compliance has been validatedExceptions: RSG, GFA PO-18 CPS1 and CPS2 waivers complete (approved by NERC) or an alternative plan is implemented (approved by CBASC) PO-19 The SPP Parallel Operations Go-Live Plan is approved internally PO-20 The SPP Parallel Operations Roll-In/Roll- Out Integrated Deployment Plan is approved internally including IDT MP Guide and Communication Plan Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center No change to the following criteria:

Parallel Ops Go/No-Go Criteria (Cont.) 15 IDCriteriaCriteria Notes PO-21 EIS BA procedures/cutover plans have been submitted and validated by SPP The current deadline for EIS BA submission is 8/12/2013. The assumption is that validation is defined as including the primary basic elements of the plan PO-22 Physical setup of the SPP facilities supporting Parallel Operations is complete Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center

Parallel Ops Go/No-Go Criteria (Cont.) 16 IDCriteriaCriteria Notes PO-23 SPP Staff is ready to support Parallel Operations Resources will be confirmed to be ready by the director over the areas in scope for the phase. Applicable functional areas: Credit, Operations, IT Apps, IT Ops, Settlements, Customer Relations Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center

Parallel Ops Go/No-Go Criteria (Cont.) 17 Draft Parallel Ops Go/No-Go Criteria are posted in the Go/No-Go folder on the Readiness Center.Go/No-Go folder Readiness Center Two new criteria: IDCriteriaCriteria Notes PO-24 Impacts of Critical/High defects are deemed acceptable by SPP and Market Participants Defects will be published with Initial Assessment – this criteria will be updated prior to final report PO-25 Execute Integrated Marketplace Bid to Bill functionality consistently for 15 supported Unstructured Operating Days according to protocol timelines. Unstructured days for this criteria will begin tracking on September 23, 2013 and continue through the end of SMT. These are not consecutive days.

Update on MP Self-Certification 18